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Shang Chou

CAERUS INVESTMENT ADVISORS
South Pasadena, CA
Some features on this profile are disabled
CRD#: 5550638
SC

Professional summary

Shang Chou is a registered financial advisor currently at CAERUS INVESTMENT ADVISORS, LLC located in South Pasadena, California and DISHMI CAPITAL, LLC located in Pasadena, California.

Shang is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Shang has worked at 5 firms and has passed the Series 65, Series 63, Series 66, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shang Chou's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 17, 2025 - Present

CAERUS INVESTMENT ADVISORS, LLC

RIA
CRD#: 171716
South Pasadena, CA
Current

June 18, 2025 - Present

DISHMI CAPITAL, LLC

Office #1: 251 South Lake Ave Suite 800, Pasadena, CA 91101
RIA
CRD#: 336392
PASADENA, CA
Past

July 30, 2020 - July 21, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
LOS ANGELES, CA
Past

June 6, 2018 - June 30, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Los Angeles, CA
Past

March 31, 2011 - September 15, 2014

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEWPORT BEACH, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAERUS INVESTMENT ADVISORS, LLC
CAERUS INVESTMENT ADVISORS, LLC

CRD#: 171716 / SEC#: 801-110401

RIA
Registered Investment Advisory firm - (4/13/2017 Approved)
California
Registered Investment Advisory firm - (5/24/2017 Terminated)
New York
Registered Investment Advisory firm - (4/24/2017 Terminated)
Texas
Registered Investment Advisory firm - (4/24/2017 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(6/17/2025)
IAR
Texas
(6/17/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/17/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/21/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/1/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/22/2020
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/2018
General Securities Representative Examination

Current Firm

CI
CAERUS INVESTMENT ADVISORS, LLC
CAERUS INVESTMENT ADVISORS, LLC

CRD#: 171716 / SEC#: 801-110401

RIA
Registered Investment Advisory firm - (4/13/2017 Approved)
California
Registered Investment Advisory firm - (5/24/2017 Terminated)
New York
Registered Investment Advisory firm - (4/24/2017 Terminated)
Texas
Registered Investment Advisory firm - (4/24/2017 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
West Lake Hills, TX
Mailing Address
Phone number
(650) 906-7666
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (6/10/2025)
FORM ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (6/10/2025)

Regulatory assets under management

Total Number of Accounts127
AUM (Assets Under Management)$ 194,550,948

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAERUS INVESTMENT ADVISORS, LLC

CRD#: 171716South Pasadena, CA

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